Charles J. Noble
JANNEY MONTGOMERY SCOTT LLC | Executive Vice President
NEW HAVEN, CT 06511
Some features on this profile are disabled
CRD#: 715430
Professional summary
Charles Joseph Noble III, who also goes by Charles J Noble, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in New Haven, Connecticut.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Charles has worked at 5 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Biography
Wealth needs to be more than managed. It needs to be developed, preserved, and when the time is right, passed along. Noble Wealth Advisors understand that wealth—like life—is more than just an event. It is an ongoing process of growth and development. To take advantage of the opportunities life presents, you need a team that has the experience—and the expertise—to offer advice and execute financial strategies for every stage of life.
Our mission is to actively listen and understand what is most important to you and then provide consistent, practical advice based on your unique situation and objectives. Managing client assets of over $900 million and with combined investment experience of over 100 years, we will know the answers to your questions or where to find them.
Question & Answer
What are your service offerings?
Insurance
Trust & estate planning
Loans/credit services
Philanthropic services
Financial planning
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
4M
Are you a "fiduciary"?
Yes
Aliases
Charles J Noble
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
#1: LAKEHOUSE LLC -Hamden/New Haven, CT - INVESTMENT RELATED - Nature: COMMERICAL REAL ESTATE (Retail shops - Book Store and Wine Shop); Title/Position: Sole owner, sole member LLC; Duties: collect rents, pay bills, occasional supervision of repairs - 2006 - Devotes 2 hours/month; Compensated - Rental Income. #2: Anne Gunderson Foundation; Investment Related; Nature: Trust/Foundation; Title/Position: Co-Trustee; Duties: oversee investments and disbursement of funds, vet potential donor recipients and distributing assets according to terms of the trust; 25 hrs/yr; compensated. #3. Ecochlor Inc.; Not Investment Related; Nature: Global Sales and Service of Equipment to the Maritime Industry; Title/Position: Chairman of the Board of Directors; Duties not yet assigned - Elected to the Board in April 2022; Devotes 8 hours/month; Not compensated. #4. Harland pond Corporation, West Hartland, CT. HOA Committee Member (02/2024) - informal advisors to the board, two are board members, with no authority over governance. Not investment related, not compensated, 3 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Joseph Noble III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Joseph Noble III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneEducation
Course of Study at the Wharton School of Business
Accounting and Finance
Experience
Current
December 10, 2010 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 321 Whitney Avenue, New Haven, CT 06511Office #2: 2385 Nw Executive Center Drive Suite 200, Boca Raton, FL 33431RIA
BD
CRD#: 463
NEW HAVEN, CT
Current
December 9, 2010 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 321 Whitney Avenue, New Haven, CT 06511Office #2: 2385 Nw Executive Center Drive Suite 200, Boca Raton, FL 33431RIA
BD
CRD#: 463
NEW HAVEN, CT
Past
January 13, 2006 - December 14, 2010
STEPHENS
RIA
CRD#: 3496
NEW HAVEN, CT
Past
January 13, 2006 - December 14, 2010
STEPHENS
BD
CRD#: 3496
NEW HAVEN, CT
Past
May 7, 1991 - February 13, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
NEW HAVEN, CT
Past
November 3, 1987 - February 13, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
BD
CRD#: 2
Past
July 2, 1987 - October 30, 1987
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
Past
September 23, 1980 - July 17, 1987
MOSELEY SECURITIES CORPORATION
BD
CRD#: 7908
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/23/2022)
RR
Alaska(5/14/2014)
RR
Arizona(12/9/2010)
RR
California(12/9/2010)
IAR
California(12/10/2010)
RR
Colorado(12/9/2010)
RR
Connecticut(12/10/2010)
IAR
Connecticut(12/10/2010)
RR
Delaware(7/1/2024)
RR
District of Columbia(12/9/2010)
IAR
District of Columbia(3/3/2011)
RR
Florida(12/9/2010)
IAR
Florida(3/1/2016)
RR
Georgia(12/9/2010)
RR
Hawaii(12/9/2010)
RR
Illinois(12/9/2010)
RR
Indiana(9/24/2024)
RR
Kansas(12/22/2016)
RR
Kentucky(1/22/2018)
RR
Louisiana(7/21/2025)
RR
Maine(12/9/2010)
RR
Maryland(12/9/2010)
RR
Massachusetts(12/9/2010)
IAR
Massachusetts(7/9/2024)
RR
Michigan(12/9/2010)
RR
Minnesota(3/22/2021)
RR
Mississippi(5/2/2014)
RR
Missouri(12/9/2010)
RR
Montana(12/9/2010)
RR
Nevada(1/19/2022)
RR
New Hampshire(12/9/2010)
RR
New Jersey(12/9/2010)
IAR
New Jersey(12/17/2010)
RR
New York(12/9/2010)
IAR
New York(2/23/2024)
RR
North Carolina(12/9/2010)
IAR
North Carolina(4/15/2011)
RR
Ohio(12/9/2010)
IAR
Ohio(3/16/2011)
RR
Oregon(5/21/2012)
RR
Pennsylvania(12/9/2010)
RR
Rhode Island(12/9/2010)
RR
South Carolina(12/9/2010)
RR
Tennessee(12/9/2010)
RR
Texas(12/21/2012)
IAR
Texas(1/3/2013)
RR
Utah(11/29/2017)
RR
Vermont(12/17/2010)
RR
Virginia(12/9/2010)
RR
Washington(12/9/2010)
RR
Wisconsin(9/16/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 11/18/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/19/1989
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
JANNEY MONTGOMERY SCOTT LLC
Executive Vice PresidentCRD#: 463New Haven, CT 06511TRUST BUT VERIFY
Monitor Charles Noble
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
